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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

NORTHERN CROSS, LLC

CRD 128223

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d8956e82-77f2-3cfb-d8f5-59579a89ccde

Data as of Jan 18, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 9, 2012 to Jan 18, 2018
11 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $33BItem 5.F on the latest filing (2018-01-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $33B
Private client RAUM: $66.9MderivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 13
Individual clients: 0
SEC number: 801-62668
CRD: 128223
Filings on the tape: 11
First filed: Mar 9, 2012
Latest filed: Jan 18, 2018
Organised: Limited Liability Company, Massachusetts

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
APPLEBY, HOWARD, CHRISTOPHER	President	E	yes	04/2002	Mar 9, 2012	Jan 18, 2018
APPLEBY, HOWARD, CHRISTOPHER	PRESIDENT, CHIEF OPERATIONS OFFICER	Na	yes	01/2014	Mar 9, 2012	Jan 18, 2018
DUCREST, JEANFRANCOIS, EMMANUEL	President	E	yes	04/2002	Mar 9, 2012	Jan 18, 2018
LATORRE, JAMES, JOEL	President	E	yes	02/1996	Mar 9, 2012	Jan 18, 2018
MSJ INTERNATIONAL, INC.	Member	C	yes	07/2003	Mar 9, 2012	Jan 18, 2018
PGN ADVISORS, INC.	Member	C	yes	07/2003	Mar 9, 2012	Jan 18, 2018
SUMMIT INTERNATIONAL INVESTMENTS INC	Member	C	yes	07/2003	Mar 9, 2012	Jan 18, 2018
BABKA, SCOTT, JOSEPH	PRINCIPAL, DIRECTOR OF RESEARCH	A	no	01/2014	Mar 17, 2014	Jan 18, 2018
FELDMAN, ADAM, ROSS	PRINCIPAL, SENIOR ANALYST	Na	no	01/2017	Feb 17, 2017	Jan 18, 2018
GOREHAM, LUCY, CATHERINE	CHIEF COMPLIANCE OFFICER	Na	no	07/2014	Jul 10, 2014	Jan 18, 2018
LERNER, DAVID	PRINCIPAL, SENIOR ANALYST	Na	no	01/2017	Feb 17, 2017	Jan 18, 2018

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Jan 18, 2018	$33B	$33B	9	6	0	n/a	n/a
2016	Feb 17, 2017	$36.7M	$36.7M	9	6	n/a	n/a	n/a
2015	Jan 27, 2016	$45B	$45B	9	6	n/a	n/a	n/a
2014	Jan 16, 2015	$52B	$52B	9	6	n/a	n/a	n/a
2013	Mar 17, 2014	$55B	$55B	10	7	n/a	n/a	n/a
2012	Mar 7, 2013	$44B	$44B	8	6	n/a	n/a	n/a
2011	Mar 9, 2012	$33B	$33B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$33B	$36.7M	90283.0%	$52B	-13.9%	9	9	0	n/a

Relationships

Controls (6)

← SUMMIT INTERNATIONAL INVESTMENTS INCOwnerMEMBER, ownership code C, domestic entity
Mar 9, 2012 to presentfactForm ADV
← LATORRE, JAMES, JOELOwnerPRESIDENT, ownership code E, individual
Mar 9, 2012 to presentfactForm ADV
← APPLEBY, HOWARD, CHRISTOPHEROwnerPRESIDENT, ownership code E, individual
Mar 9, 2012 to presentfactForm ADV
← DUCREST, JEANFRANCOIS, EMMANUELOwnerPRESIDENT, ownership code E, individual
Mar 9, 2012 to presentfactForm ADV
← MSJ INTERNATIONAL, INC.OwnerMEMBER, ownership code C, domestic entity
Mar 9, 2012 to presentfactForm ADV
← PGN ADVISORS, INC.OwnerMEMBER, ownership code C, domestic entity
Mar 9, 2012 to presentfactForm ADV

Owns (4)

← BABKA, SCOTT, JOSEPHOwnerPRINCIPAL, DIRECTOR OF RESEARCH, ownership code A, individual
Mar 17, 2014 to presentfactForm ADV
← FELDMAN, ADAM, ROSSOwnerPRINCIPAL, SENIOR ANALYST, ownership code NA, individual
Feb 17, 2017 to presentfactForm ADV
← LERNER, DAVIDOwnerPRINCIPAL, SENIOR ANALYST, ownership code NA, individual
Feb 17, 2017 to presentfactForm ADV
← GOREHAM, LUCY, CATHERINEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 10, 2014 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d8956e82-77f2-3cfb-d8f5-59579a89ccde
First observed: Mar 9, 2012
Last observed: Jan 18, 2018 105 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NORTHERN CROSS, LLC

CRD 128223

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d8956e82-77f2-3cfb-d8f5-59579a89ccde

Data as of Jan 18, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:26 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

APPLEBY, HOWARD, CHRISTOPHER

President

yes

04/2002

Mar 9, 2012

Jan 18, 2018

APPLEBY, HOWARD, CHRISTOPHER

PRESIDENT, CHIEF OPERATIONS OFFICER

yes

01/2014

Mar 9, 2012

Jan 18, 2018

DUCREST, JEANFRANCOIS, EMMANUEL

President

yes

04/2002

Mar 9, 2012

Jan 18, 2018

LATORRE, JAMES, JOEL

President

yes

02/1996

Mar 9, 2012

Jan 18, 2018

MSJ INTERNATIONAL, INC.

Member

yes

07/2003

Mar 9, 2012

Jan 18, 2018

PGN ADVISORS, INC.

Member

yes

07/2003

Mar 9, 2012

Jan 18, 2018

SUMMIT INTERNATIONAL INVESTMENTS INC

Member

yes

07/2003

Mar 9, 2012

Jan 18, 2018

BABKA, SCOTT, JOSEPH

PRINCIPAL, DIRECTOR OF RESEARCH

01/2014

Mar 17, 2014

Jan 18, 2018

FELDMAN, ADAM, ROSS

PRINCIPAL, SENIOR ANALYST

01/2017

Feb 17, 2017

Jan 18, 2018

GOREHAM, LUCY, CATHERINE

CHIEF COMPLIANCE OFFICER

07/2014

Jul 10, 2014

Jan 18, 2018

LERNER, DAVID

PRINCIPAL, SENIOR ANALYST

01/2017

Feb 17, 2017

Jan 18, 2018

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Jan 18, 2018

$33B

n/a

2016

Feb 17, 2017

$36.7M

n/a

2015

Jan 27, 2016

$45B

n/a

2014

Jan 16, 2015

$52B

n/a

2013

Mar 17, 2014

$55B

n/a

2012

Mar 7, 2013

$44B

n/a

2011

Mar 9, 2012

$33B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$33B

$36.7M

90283.0%

$52B

-13.9%

n/a